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Results: 1-9 of 9

NFA notifies members of FinCEN advisory

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • December 20 2013

The National Futures Association has notified member futures commission merchants (FCMs) and introducing brokers (IBs) that the Financial Crimes

NFA reminds members of BSA electronic filing requirements

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • June 8 2012

On June 5, the National Futures Association issued a notice reminding members that, beginning July 1, all Bank Secrecy Act (BSA) reports must be filed electronically

Group pleading improper in CFTC enforcement action

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • March 12 2010

The Commodity Futures Trading Commission brought an enforcement action against several investment firms and affiliated individuals for the fraudulent operation of a foreign currency trading firm

CFTC and FinCEN agree to information sharing

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • January 23 2009

The Commodity Futures Trading Commission and the Financial Crimes Enforcement Network (FinCEN) have announced an agreement to exchange information in an effort to ensure that CFTC-regulated entities are in compliance with their anti-money laundering obligations under the Bank Secrecy Act (BSA

NYSE Arca proposes options rule amendments regarding anti-money laundering compliance programs

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • November 21 2008

On October 28, NYSE Arca, Inc. filed proposed rule changes with the Securities and Exchange Commission to amend NYSE Arca Options Rule 11.19, which addresses anti-money laundering compliance programs (AMLCPs

FinCEN withdraws AML proposal

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • November 7 2008

The U.S. Treasury Department’s Financial Crimes Enforcement Network has withdrawn its proposed rules that would have required the adoption by investment advisers, commodity trading advisors and certain unregistered investment companies of anti-money laundering programs similar to those required of banks, broker-dealers, mutual funds and other industry participants

FinCEN withdraws dated anti-money laundering rule proposals

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 31 2008

On October 30, the Financial Crimes Enforcement Network (FinCEN) withdrew its proposed anti-money laundering rules for investment advisers, unregistered investment companies and commodity trading advisers

Guidance issued regarding due diligence obligations of OTC executing dealers

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 12 2007

The Financial Crimes Enforcement Network (FinCEN) has issued interpretive guidance clarifying the due diligence obligations of executing dealers under the correspondent account rule with respect to prime brokerage clients in over-the-counter foreign exchange and derivatives markets (OTC Markets

Application of the correspondent account rule to OTC executing dealers

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • September 7 2007

The Financial Crimes Enforcement Network (FinCEN) has issued interpretive guidance to clarify the due diligence obligations of executing dealers in over-the-counter foreign exchange and derivatives markets pursuant to prime brokerage arrangements under the correspondent account provisions of the USA PATRIOT Act